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November 2, 2018

Merrill Lynch Reveals 2019 Comp Plan That Could Reduce Production Payouts
Plan retains a fundamental carrot-and-stick approach for getting advisors to add new client households.
Why Financial Advice Risks Increasing Irrelevance to More and More Prospective Clients
Even today, many firms simply aren't meeting all their customer's needs.
Special Report: What the Future Holds for Smart Beta. Just How Smart Can Smart Really Get?
New smart beta strategies are emerging but some FAs say returning to basics may be a better step forward. Part 5 of a 5-part Special Report on Smart Beta.
Five Compelling Story Ideas to Build Your Business
These forms of storytelling can help you deepen current relationships and win new business.
Investors Should Pay More Attention to Their Spending
Part of a series probing the concerns of American investors, as expressed to top financial advisors.
Merrill Lynch Loses $550M Team to Increasingly Important Competitor
Beverly Hills team is the latest breakaway from the wirehouse.
Ex-LPL Advisor Hit With 20-Year Prison Sentence
Advisor pleaded guilty to several charges related to her theft of $1.8 million in client funds.
Wall Street Warms Up to Democratic Candidates
It’s the first time in 10 years the securities and investment industries are giving more to Democrats than to Republicans.
Wells Fargo Loses Yet More FAs to These Firms
Judy Ross managed $245 million at Wells Fargo.
Investors Push for More Clarity in Regulation Best Interest, While SEC Chair Speeds Up its Release
Jay Clayton says the rules package will come out by September or sooner.

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